First Citizens Bank Hiring for Registered Brokerage Service Assistant Job at Charlotte, NC Full Time

Responsibilities:

• Operations Support – Addresses operational client service questions and inquiries. Researches, resolves, and communicates updates to the appropriate parties. Assists with time-sensitive operational projects and deadlines. Ensures all unsolicited client trading requests are executed correctly and in a timely manner.
• Account Servicing – Creates, maintains, and updates client accounts. Utilizes department systems to input account information such as money movement requests, cashier records, and other items. Identifies outstanding process needs or account actions and ensures all necessary documentation is present.
• Documentation – Responsible for filing, completing, and maintaining department forms, including client paperwork. Assists in processing compliance files and sourcing information needed for daily activities.
• Collaboration – Works closely with associates, management, clients, and business team in fulfilling daily requests and providing necessary information. Ensures outstanding items are appropriately followed-up and deadlines met in a team environment.

Qualifications:

• Experience in Financial Brokerage Operations in supporting client and advisors relationships
• FINRA Series 7 and 66 (or the combination of Series 63 and 65) and North Carolina Insurance License required. If there is a gap in any of these required registrations, the new associate will be required to complete preparation and successfully pass required examinations within the first 120 days from starting in this role.